4//SEC Filing
Revance Therapeutics, Inc. 4
Accession 0001209191-14-009025
CIK 0001479290operating
Filed
Feb 10, 7:00 PM ET
Accepted
Feb 11, 2:19 PM ET
Size
59.1 KB
Accession
0001209191-14-009025
Insider Transaction Report
Form 4
Eastman Ronald W
Director10% Owner
Transactions
- Conversion
Common Stock
2014-02-11+2,781,396→ 2,781,396 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.) - Exercise of In-Money
Common Stock
2014-02-11+369,124→ 3,747,332 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.) - Conversion
Common Stock
2014-02-11+200,538→ 200,538 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.) - Conversion
Common Stock
2014-02-11+43,029→ 243,567 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.) - Conversion
Common Stock
2014-02-11+87,190→ 87,190 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.) - Exercise of In-Money
Common Stock
2014-02-11+11,560→ 117,458 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.) - Conversion
Series E-3 Convertible Preferred Stock
2014-02-11−575,384→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.)→ Common Stock (575,384 underlying) - Conversion
Series E-4 Convertible Preferred Stock
2014-02-11−1,801,888→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.)→ Common Stock (1,801,888 underlying) - Exercise of In-Money
Warrant to Purchase Common Stock
2014-02-11−369,124→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.)→ Common Stock (369,124 underlying) - Conversion
Series E-4 Convertible Preferred Stock
2014-02-11−129,916→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.)→ Common Stock (129,916 underlying) - Conversion
Convertible Promissory Notes
2014-02-11−43,029→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.)→ Common Stock (43,029 underlying) - Conversion
Series E-3 Convertible Preferred Stock
2014-02-11−18,037→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.)→ Common Stock (18,037 underlying) - Conversion
Series E-5 Convertible Preferred Stock
2014-02-11−12,668→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.)→ Common Stock (12,668 underlying) - Conversion
Convertible Promissory Notes
2014-02-11−18,708→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.)→ Common Stock (18,708 underlying) - Exercise of In-Money
Common Stock
2014-02-11+26,605→ 270,172 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.) - Conversion
Common Stock
2014-02-11+18,708→ 105,898 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.) - Conversion
Convertible Promissory Notes
2014-02-11−596,812→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.)→ Common Stock (596,812 underlying) - Conversion
Series E-3 Convertible Preferred Stock
2014-02-11−41,485→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.)→ Common Stock (41,485 underlying) - Conversion
Common Stock
2014-02-11+596,812→ 3,378,208 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.) - Conversion
Series E-5 Convertible Preferred Stock
2014-02-11−404,124→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII, L.P.)→ Common Stock (404,124 underlying) - Conversion
Series E-5 Convertible Preferred Stock
2014-02-11−29,137→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.)→ Common Stock (29,137 underlying) - Exercise of In-Money
Warrant to Purchase Common Stock
2014-02-11−26,605→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-A, L.P.)→ Common Stock (26,605 underlying) - Conversion
Series E-4 Convertible Preferred Stock
2014-02-11−56,485→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.)→ Common Stock (56,485 underlying) - Exercise of In-Money
Warrant to Purchase Common Stock
2014-02-11−11,560→ 0 total(indirect: by Essex Woodlands Health Ventures Fund VIII-B, L.P.)→ Common Stock (11,560 underlying)
Footnotes (11)
- [F1]Issued upon conversion of Series E-3, E-4 and E-5 Preferred Stock upon closing of the Issuer's initial public offering.
- [F10]Automatically net exercised into shares of the Issuer's Common Stock at an exercise price of $0.15 per share.
- [F11]Includes certain warrants to purchase capital stock of the Issuer issued between October 8, 2013 and January 16, 2014 by the Issuer pursuant to a Note and Warrant Purchase Agreement dated October 8, 2013, as amended. The warrant shares were automatically net exercised into Common Stock of the Issuer upon the closing of the Issuer's initial public offering at a per share exercise price of $0.15 per share on a post-split basis.
- [F2]Each share of the Issuer's Series E-1, Series E-2, Series E-3, Series E-4 and Series E-5 Preferred Stock automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering and has no expiration date.
- [F3]The voting and dispositive decisions with respect to the shares held by Essex Woodlands Health Ventures Fund VIII, L.P. are made by its general partner, Essex Woodland Health Ventures VIII, LLC and one of Issuer's directors, Ronald W Eastman.
- [F4]Convertible Promissory Notes in the aggregate principal amount of $8,609,375.00 were issued between October 8, 2013 and January 16, 2014 by the Issuer pursuant to a Note and Warrant Purchase Agreement dated October 8, 2013, as amended. The principal amount of $8,609,375.00 plus interest accrued through October 7, 2014, at the rate of 12% per annum converted automatically upon the closing of the Issuer's initial public offering into shares of Common Stock at a conversion price that equals to 100% of the per share price of the Common Stock sold in the Issuer's initial public offering.
- [F5]Issued upon closing of the Issuer's initial public offering pursuant to automatic net exercise of warrants to purchase common stock at an exercise price of $0.15 per share.
- [F6]The voting and dispositive decisions with respect to the shares held by Essex Woodlands Health Ventures Fund VIII-A, L.P. are made by its general partner, Essex Woodland Health Ventures VIII, LLC and one of Issuer's directors, Ronald W Eastman.
- [F7]Convertible Promissory Notes in the aggregate principal amount of $620,738.64 were issued between October 8, 2013 and January 16, 2014 by the Issuer pursuant to a Note and Warrant Purchase Agreement dated October 8, 2013, as amended. The principal amount of $620,738.64 plus interest accrued through October 7, 2014, at the rate of 12% per annum converted automatically upon the closing of the Issuer's initial public offering into shares of Common Stock at a conversion price that equals to 100% of the per share price of the Common Stock sold in the Issuer's initial public offering.
- [F8]The voting and dispositive decisions with respect to the shares held by Essex Woodlands Health Ventures Fund VIII-B, L.P. are made by its general partner, Essex Woodland Health Ventures VIII, LLC and one of Issuer's directors, Ronald W Eastman.
- [F9]Convertible Promissory Notes in the aggregate principal amount of $269,886.36 were issued between October 8, 2013 and January 16, 2014 by the Issuer pursuant to a Note and Warrant Purchase Agreement dated October 8, 2013, as amended. The principal amount of $269,886.36 plus interest accrued through October 7, 2014, at the rate of 12% per annum converted automatically upon the closing of the Issuer's initial public offering into shares of Common Stock at a conversion price that equals to 100% of the per share price of the Common Stock sold in the Issuer's initial public offering.
Documents
Issuer
Revance Therapeutics, Inc.
CIK 0001479290
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001479290
Filing Metadata
- Form type
- 4
- Filed
- Feb 10, 7:00 PM ET
- Accepted
- Feb 11, 2:19 PM ET
- Size
- 59.1 KB